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GOOD FAITH EFFORTS GUIDELINES SAN DIEGO ASSOCIATION OF GOVERNMENTS
(SANDAG)
May 2016 www.sandag.org/contracts
GOOD FAITH EFFORTS GUIDELINES
TABLE OF CONTENTS
I. INTRODUCTION ................................................................................... 1
II. OVERVIEW ........................................................................................... 3
III. CERTIFICATION .................................................................................... 4
IV. GOOD FAITH EFFORTS CRITERIA ........................................................... 5
V. GOOD FAITH EFFORTS DOCUMENTATION ............................................. 6
No. 1 – Pre-Proposal, Pre-Bid, or Pre-Qualification Meeting ................. 6
No. 2 – Advertisement .............................................................................. 6
No. 3 – Written Notices to DBEs ............................................................... 10
No. 4 – Work Identified for DBEs ............................................................. 13
No. 5 – List of Rejected Firms ................................................................... 17
No. 6 – List of Efforts: Bonds, Lines of Credit, Technical Info ................ 20
No. 7 – List of Efforts: Equipment, Supplies, Materials .......................... 20
No. 8 – Organization Outreach ................................................................ 20
No. 9 – Good Faith Negotiating ............................................................... 23
VI. CONTACT SANDAG WITH QUESTIONS .................................................... 24
SANDAG Good Faith Effort Guidelines. May 2016
Page 1
Definition:
DBE – DBEs are for-profit small business concerns where socially and economically disadvantaged individuals own at least a 51 percent interest and also control management and daily business operations. African Americans, Hispanic Americans, Native Americans, Asian-Pacific and Subcontinent-Asian Americans, and Women are presumed to be socially and economically disadvantaged. Other individuals also can qualify as socially and economically disadvantaged on a case-by-case basis.
I. INTRODUCTION
The San Diego Association of Governments (SANDAG) encourages maximum utilization of
Disadvantaged Business Enterprises (DBEs) in the performance of SANDAG federally funded
contracts. In doing so, SANDAG must comply with Title 49 Code of Federal Regulations (CFR),
Part 26.
The objectives of 49 CFR, Part 26 include the following:
To ensure nondiscrimination in the award and administration of
Department of Transportation (DOT) assisted contracts in highway and transit financial
assistance programs
To create a level playing field on which DBEs can compete fairly for DOT-assisted contracts
To ensure that the DBE Program is narrowly tailored in accordance with applicable law
To ensure that only firms that fully meet eligibility standards are permitted to participate as
DBEs
To help remove barriers to the participation of DBEs in DOT-assisted contracts
To assist the development of firms that can compete successfully in the marketplace outside
the DBE Program
To provide appropriate flexibility to recipients of federal financial assistance in establishing
and providing opportunities for DBEs
Whenever SANDAG conducts a procurement that is federally funded in whole or in part, it must
determine whether a contract specific DBE goal should be established. Goals are established
only if DBE contracting or subcontracting opportunities are likely to be available. The goal is
established based on demonstrable evidence of the availability of ready, willing, and able DBEs
relative to all businesses (whether DBE or not) that are ready, willing, and able to participate
for the type of work being awarded. SANDAG may receive federal funds as a direct recipient of
DOT Federal Transit Administration (FTA). SANDAG also may receive federal funds from the
Federal Highway Administration (FHWA) as a sub-recipient, through Caltrans.
The DBE category is comprised of businesses owned and controlled by specific socially and
economically disadvantaged groups as identified in
49 CFR, Part 26.67.
The following six (6) groups make up the DBE category:
African American
Asian-Pacific American
Subcontinent-Asian American
Hispanic American
Native American
Women
The DBE category applies to both FTA and FHWA
assisted contracts.
SANDAG Good Faith Effort Guidelines. May 2016
Page 2
If SANDAG establishes a contract, task order, or job order goal, a proposer/bidder must meet
the goal specified or demonstrate Good Faith Efforts (GFE) in their attempt to meet the goal.
SANDAG establishes contract, task order, and job order goals based on the relative availability
of DBE firms in the market place. SANDAG believes these goals can be and should be achieved
by proposers/bidders. However, if a proposer/bidder is unable to meet the goal, to demonstrate
GFE, the proposer/bidder must show that it took necessary and reasonable steps to achieve the
DBE goal. SANDAG has prepared this “Good Faith Efforts Guidelines” booklet to assist
contractors and consultants in understanding Good Faith Efforts. The “Good Faith
Efforts Guidelines” is intended to provide guidance to proposers and bidders. Final
determination of appropriate Good Faith Efforts are governed by 49 CFR Part 26.53 and
Appendix A to Part 26.
Comments regarding this booklet may be directed to Elaine Richardson, SANDAG, Manager of
Small Business Development, 401 B Street, Suite 800, San Diego, CA 92101-4231.
Phone: (619) 699-6956, or via email: [email protected].
SANDAG Good Faith Effort Guidelines. May 2016
Page 3
II. OVERVIEW
A proposer/bidder that has not committed to meet or exceed the DBE goal for a contract, task
order, or job order must complete and submit the form entitled DBE Information-Good Faith
Efforts (Form 15-H) and demonstrate adequate Good Faith Efforts unless otherwise indicated by
the Request for Proposal (RFP), Request for Qualifications (RFQ), or Invitation to Bid (IFB).
SANDAG recommends that even proposers/bidders who have committed to meet the goal
additionally submit this form as a means of protecting their eligibility for award in the event
that the DBE firm(s) listed was improperly credited by the proposer due to events such as a lapse
in certification by the proposed DBE firm(s).
For Public Works Construction projects, GFE documentation must be submitted within four (4)
SANDAG working days after the day bids are received, by 4 p.m. For all other procurements, the
solicitation document will state the deadline for receipt of GFE documentation, but it is typically
due at the same time as the proposal.
The person responsible for putting together the GFE package for a proposer/bidder may
contact, Elaine Richardson, SANDAG, Manager of Small Business Development, by email at
[email protected] with any questions regarding the GFE time period for a
particular RFP, IFB, or RFQ.
Each GFE criteria is graded on a pass/fail basis, based on the overall documentation of efforts
for the criteria.
A promise to use DBEs after DBE and/or GFE documentation is not considered to be responsive
to the contract solicitation or to constitute good faith efforts.
Nothing set forth in this booklet supersedes the information stated in the RFP, IFB, or RFQ for a
specific procurement, or DBE regulations under 49 CFR Part 26.
It is the responsibility of the proposer/bidder to verify the DBE certification of their selected DBE
subcontractor/subconsultant/vendor is valid and current on the California Unified Certification
Program (CUCP) website (www.californiaucp.org).
SANDAG Good Faith Effort Guidelines. May 2016
Page 4
III. CERTIFICATION
If a proposer/bidder has questions regarding certification or the certification process, they
should contact SANDAG or one of the following agencies.
CALIFORNIA DEPARTMENT OF TRANSPORTATION (CALTRANS)
Civil Rights MS 79
1823 14th Street
Sacramento, CA 95814
Phone: (916) 324-1700 or (866) 810-6346
Fax: (916) 324-1862
Website: www.caltrans.ca.gov
CUCP: www.dot.ca.gov/hq/bep/find_certified.htm
CITY OF LOS ANGELES
Office of Contract Compliance
Centralized Certification
1149 South Broadway Street, Suite 300
Los Angeles, CA 90015
Phone: (213) 847-6480
Fax: (213) 847-5566
Website: bca.lacity.org
LOS ANGELES COUNTY METROPOLITAN TRANSPORTATION AUTHORITY (METRO)
Diversity and Economic Opportunity Department
One Gateway Plaza
Los Angeles, CA 90012
Phone: (213) 922-2600
Fax: (213) 922-7660
Website: https://business.metro.net
To verify certification for a DBE firm, please go to the California Unified Certification Program
(CUCP) website (www.californiaucp.org). Click on DIRECTORY to access the DBE directory.
SANDAG Good Faith Effort Guidelines. May 2016
Page 5
IV. GOOD FAITH EFFORTS CRITERIA
The following GFE criteria developed, based on the requirements of 49 CFR Part 26,
Appendix A, have been established to assist contractors and consultants in meeting the
established contract goals. Following the table are descriptions of the type of efforts
recommended for each item.
Item # Mechanism Description
1. Attendance at Pre-Bid, Pre-Proposal, or Pre-Statement of Qualifications
(SOQ) Meeting
2. Advertisement of Opportunity:
Names and dates of all advertisements
Copies or proofs of publication
Evidence that opportunity was solicited with sufficient time to allow
response to IFB/RFP/Solicitation and or Task Order request
3. Written Notices to DBE Firms
List of all certified DBEs solicited
Copies of letters sent
Documentation of follow-up performed
4. Work identified for DBE Firms
Demonstrate that sufficient work was identified for DBE
subcontractors
5. List of rejected DBEs and reasons for rejection
Include name, address, and telephone number(s)
Include price/quote if selected subcontractor/subconsultant is not a
DBE
6. List of efforts made to interested DBEs in obtaining bonds, lines of credit,
insurance, and information about scope of work, plans, and specifications
7. List any efforts made to assist interested DBEs in obtaining necessary
equipment, supplies, materials, or related assistance or services
8. List the minority/women agencies, organizations, or groups contacted to
provide assistance in contracting, reporting, and using DBEs
9. Documentation that DBEs were negotiated with in good faith
SANDAG Good Faith Effort Guidelines. May 2016
Page 6
V. ESSENTIAL GOOD FAITH EFFORTS DOCUMENTATION
Based on the Code of Federal Regulations, SANDAG defines Good Faith Efforts as "those efforts
that, given all relevant circumstances, a competitor actively and aggressively seeking to meet
the goals would make. Efforts that are merely pro forma are not good faith efforts to meet the
goals, even if they are sincerely motivated, if, given all relevant circumstances, they could not
reasonably be expected to produce a level of participation sufficient to meet the goals."
In order to be responsive, any proposer/bidder who does not meet the goals will need to submit
evidence of having made a good faith effort to meet them. In determining whether a
proposer/bidder has made good faith efforts, SANDAG will look not only at the different kinds
of efforts that the proposer/bidder has made, but also at the quantity and intensity of these
efforts. Information necessary to demonstrate Good Faith Efforts for federally-funded projects
include the following:
No. 1 - PRE-BID, PRE-PROPOSAL or PRE-SOQ MEETING
Be on time and attend the entire meeting
Sign the attendance sheet, providing the name and title of person(s) representing
proposer’s/bidder’s firm
Provide proposer/bidder firm’s name
Describe the type of service(s) that firm performs
Confirm if proposer/bidder itself is certified as either a Disadvantaged Business Enterprise
(DBE) or Small Business (SB)
Include a copy of the attendance sheet in GFE documentation. The attendance sheet will be
posted to the SANDAG website for download after the meeting. See sandag.org/contracts
No. 2 - ADVERTISEMENT
The advertisement must be PUBLISHED not less than ten calendar days prior to the proposal or bid
due date and a proof of publication must be submitted with the GFE documentation. Consideration
will be given to the wording of the advertisement, which should mention the DBE opportunity.
Timeliness of Publication
It is the proposer’s/bidder’s responsibility to ensure that the advertisement is published
on time, and that the wording is correct
It is recommended that multiple publications be used with a minimum of a one-day
advertisement placed in each
Text of Advertisement
SANDAG project name
Proposer/bidder firm’s name
Areas of work to be subcontracted/supplied
Contact person’s name, address, telephone and fax number, and email address
Detailed information on availability of scope of work, plans and specifications
SANDAG Good Faith Effort Guidelines. May 2016
Page 7
Proposer’s/bidder’s policy concerning assistance in obtaining bonds, lines of credit, and
insurance
Must be addressed to DBE firms with California DBE certification
Bid/proposal due date
Proof of Publication
Submit the proof of publication, which must include a legible copy of the
advertisement (see below for sample). This document is supplied by the publisher and
usually accompanies the invoice. A cutout of the header along with the advertisement
is not acceptable.
If using an online publication, please include information regarding the site.
Location of Advertisements
When publishing in newspapers, the advertisement should be in the Bids Wanted,
Legal Notices section of the Classified Ads, Subcontracting Opportunities, or Business
Opportunities sections, not in the Employment Opportunities section.
When publishing online, the advertisement should be in the Outreach Ads, Bids
Wanted, Legal Notices section of the Classified Ads, Subcontracting Opportunities, or
Business Opportunities sections, not in the Employment Opportunities section.
SAMPLE OF ADVERTISEMENT
Requesting Sub-bids, Sub-proposals from firms with California DBE certification
Subcontractors/Subconsultants/Vendors wanted for: (List specific work items that
you are interested in subcontracting. It is important to break out as much detail
as possible)
Project Name:
Owner: SANDAG
Bid/Proposal Due Date & Time:
For information on the availability of scope of work, plans, and specifications
and the proposer/bidder’s policy concerning assistance to subcontractors in
obtaining bonds, lines of credit, and/or insurance, please contact our office.
Proposer’s/Bidder’s Name
Address
Email, Telephone, and Fax Number
Contact Person
Telephone Number and Fax Number
Contact Person
SANDAG Good Faith Effort Guidelines. May 2016
Page 8
LIST OF PUBLICATIONS
The following publications are a partial list of the sources available in Southern California for
outreach. SANDAG does not recommend or endorse any publication. The list is not an
all-inclusive list of acceptable publications. If you would like to use other publications, it is
recommended that you contact Elaine Richardson, SANDAG, Manager of Small Business
Development using the contact information in these Guidelines to confirm the acceptability of
the publication prior to placing your advertisement.
General Construction Print and Online Publications
Dodge Report Dodge Construction News (Green Sheet) Dodge Project Center McGraw-Hill Construction/Dodge 148 Princeton Heightstown Road, N-1 Heightstown, NJ 08520 Phone: (888) 814-0513 Fax: (888) 478-7703 Email: [email protected] www.construction.com
PlanetBids, Inc. 20929 Ventura Boulevard., Suite 210 Woodland Hills, CA 91364 Phone: (818) 992-1771 www.planetbids.com
Daily Construction Reporter Associated General Contractors of America 6212 Ferris Square San Diego, CA 92121 Phone: (858) 874-8560 Fax: (858) 874-8569 www.agcsd.org
Newspapers – Class ified Ads
El Latino San Diego P.O. Box 550 San Diego, CA 92112 Phone: (619) 426-1491 Fax: (619) 426-3206 www.ellatinoonline.com
Hispanos Unidos P.O. Box 462016 Escondido, CA 92046 Phone: (760) 740-9561 Fax: (760) 737-3035 www.hispanosnews.com
La Prensa San Diego 651 Third Avenue, Suite C Chula Vista, CA 91910 Phone: (619) 425-7400 www.laprensa-sandiego.org
North County Times 933 West San Marcos Boulevard San Marcos, CA 92078 Phone: (760) 761-4407 Fax: (760) 761-0908 www.nctimes.com
San Diego Asian Journal 550 East 8th Street, Suite 6 National City, CA USA 91950 Phone: (619) 474-0588 Fax: (619) 474-0373 www.asianjournalusa.com
San Diego Business Journal 4909 Murphy Canyon Road San Diego, CA 92123 Phone: (858) 277-6359 www.sdbj.com
SANDAG Good Faith Effort Guidelines. May 2016
Page 9
San Diego Voice and Viewpoint 3619 College Avenue San Diego, CA 92115 Phone: (619) 266-2233 Fax: (619) 266-0533 www.sdvoice.info
San Diego Monitor News 3570 Olive Street Lemon Grove, CA 91945 Phone: (619) 668-1007 Fax: (619) 668-0778
San Diego Union-Tribune P.O. Box 120191 San Diego, CA 92112 Phone: (619) 299-3131 Fax: (619) 293-2077 www.signonsandiego.com
DBE Print and Online Publications
Compliance News 11 South Termino Avenue, Suite #214 Long Beach, CA 90803 Phone: (800) 599-6996 www.compliancenews.com
DBE Goodfaith P.O. Box 521 Newark, CA 94560 Phone: (877) 802-3394 www.dbegoodfaith.com
Minority Proposer/Bidders Bulletin & Construction Update 16885 West Bernardo Drive # 335 San Diego, CA 92127 Contact: Jim Wiegele Phone: (858) 487-2600 Fax: (858) 487-3500 www.goodfaitheffort.com
Small Business Exchange 703 Market Street, Suite 1000 San Francisco, CA 94113 Contact: Gerald Johnson Phone: (415) 778-6250 Fax: (415) 778-6255 www.sbeinc.com
W/M/S/DVBE Contract & Construction News & Thomas Bid Register P.O. Box 2066 Colton, CA 92324 Phone: (800) 570-7070
Construction Bid Source P.O. Box 568 Burson, CA 95225 Phone: (800) 962-4162 www.constructionbidsource.com
Other Resources
CA Department of General Serv ices
Small Business & Disabled Veteran Business Enterprises Serv ices
707 Third Street
West Sacramento, CA 95606
Phone: (916) 375-4400
Referral Organizations: http://www.documents.dgs.ca.gov/pd/smallbus/RefOrg.pdf
SANDAG Good Faith Effort Guidelines. May 2016
Page 10
No. 3 – WRITTEN NOTICES TO DBE FIRMS
Letters must be sent and/or emailed to available DBEs, for work area listed, not less than ten
calendar days prior to the bid/proposal due date.
Letters must be sent to an adequate number of DBEs to reasonably expect to meet the
contract, task order, job order, or supplement DBE goal. Determination of an
adequate number of DBEs to be contacted will depend on the number of certified
DBEs in the SANDAG market area for each work category. The following table
includes the recommended number of DBE contacts based on the availability of DBEs:
Available DBE
Firms
Recommended DBE
Contacts
5 or less All
6 to 10 5
11 to 50 50%
51+ 25
Use the California Unified Certification Program (CUCP) website at
www.californiaucp.org to identify and contact certified DBE firms.
If you have difficulty locating DBEs for any of the work areas, contact SANDAG for
assistance. You may contact Elaine Richardson, SANDAG, Manager of Small Business
Development, by email at [email protected] with any questions.
Letters should also be sent to those DBE firms with whom proposer/bidder has had a
previous working relationship and believes may want to use on the contract, task
order, job order, or supplement.
Proposers/bidders should send letters to all available DBEs who may have an interest in
bidding in the same specified work areas as the subcontractors, subconsultants or
vendors with whom it has had a previous working relationship in those specified work
areas.
Letters should contain at a minimum
SANDAG project name
Bid, proposal, or SOQ due date/time
Specified work areas
Proposer/bidder firm’s name
Contact person’s name, address, telephone and fax number, and email address
Detailed information on availability of scope of work, plans, and specifications
Proposer/bidder’s policy concerning assistance in obtaining bonds, lines of credit, and
insurance
To meet the GFE requirements you must
Send the letters on time (not less than ten calendar days before proposals/bids are
due)
Include all required information in the language of the letter
SANDAG Good Faith Effort Guidelines. May 2016
Page 11
Submit copies of each of the letters sent or one master notification including a listing
of each firm sent the letter, AND
If emailed: copies of the sent and received emails with date and time sent or
received
If faxed: copies of the fax transmittal confirmation sheet(s). No credit for error
messages, busy, cancelled, etc.
If mailed: copies of the metered envelopes or certified mail receipts
SAMPLE WRITTEN NOTICE
Bolder Corporation 1234 Granite Avenue, Suite 800 San Diego, CA 92121
CURRENT DATE
Attn: Estimator Subconsultants, Inc. 123 Main Street San Diego, CA 92121 Re: Request for Sub Bids To Whom It May Concern: Bolder Corporation is a consulting firm responding to the Request for Proposals (RFP) for the project listed below: Project: (Insert Project Title) Proposal Due Date: (Insert RFP Due Date) We are seeking sub-bids from DBE subcontractors, subconsultants, and material and/or equipment suppliers in the areas of work included in, but not limited to, those listed below: (List specified work areas here) Bolder Corporation encourages all interested DBE firms to contact us at least five days prior to the proposal due date to review with us your proposed scope of work. The scope of work, plans, specifications, and copies of the proposal are available for review at our office at 1234 Granite Avenue, Suite 800, San Diego, CA 92121; Monday through Friday, 8 a.m. to 5 p.m. We are willing to assist all interested DBEs in obtaining bonds, lines of credit, and/or insurance. If you are interested in participating in this project, please contact Jane Doe at (619) 123-4567. Sincerely, Jane Doe Project Manager
SANDAG Good Faith Effort Guidelines. May 2016
Page 12
p. 1 Transmit Conf. Report March 15, 2011 10:11
Fax/Phone Number
Mode Start Time Page Result
92133451245 NORMAL 15,10:11 0’ 36” 1 *OK
Bolder Corporation 1234 Granite Avenue, Suite 800 San Diego, CA 92121
CURRENT DATE
Attn: Estimator Subconsultants, Inc. 123 Main Street San Diego, CA 92121 Re: Request for Sub Bids To Whom It May Concern:
Bolder Corporation is a construction firm bidding on the project listed below:
Project: (Insert Project Title)
Bid Due Date: (Insert Bid Date)
We are seeking sub-bids from DBE subcontractors, subconsultants, and material and/or equipment
suppliers in the areas of work included in, but not limited to, those listed below:
(List specified work areas here)
Bolder Corporation encourages all interested DBE firms to contact us at least one day prior to the
bid due date to review with us your proposed scope of work.
The plans, specifications, and copies of the bid are available for review at our office at 1234 Granite
Avenue, Suite 800, San Diego, CA 92121; Monday through Friday, 8 a.m. to 5 p.m.
We are willing to assist all interested DBEs in obtaining bonds, lines of credit, and/or insurance.
If you are interested in participating in this project, please contact Jane Doe at (619) 123-4567.
Sincerely, Jane Doe Project Manager
SAMPLE FAX TRANSMITTAL CONFIRMATION
SANDAG Good Faith Effort Guidelines. May 2016
Page 13
SAMPLE METERED ENVELOPE
No. 4 - WORK IDENTIFIED FOR DBE FIRMS
Work areas are specific items of work that the proposer/bidder will make available to DBE
subcontractors/subconsultants/vendors. Items of work should be broken down into
economically feasible units that would increase the likelihood of achieving the DBE goal.
Work areas must be listed in documentation, with estimated dollar value and percentage of
the total contract or task order identified for that work area.
Work areas must be listed either in advertisements or letters to potential subcontractors/
subconsultants/vendors.
Any work that proposer/bidder cannot complete should be listed as a work area for
subcontractors/subconsultants/vendors.
If proposer/bidder is able to complete all the work areas itself, it will have the option to:
Identify work areas that are potential areas to subcontract even though it is capable
of carrying out these work areas itself, and/or
Perform an outreach to the suppliers that are specific to the project.
All work areas for which proposer/bidder proposes utilizing a
subcontractor/subconsultant/vendor MUST be represented in the GFE documentation.
Even if proposer/bidder has had a previous relationship with a subcontractor,
subconsultant, or vendor, proposer/bidder must still list their relevant work area.
A promise to use DBEs after the deadline for DBE or GFE documentation is not considered to
be responsive to the contract or task order solicitation or to constitute Good Faith Efforts.
Your Company Name Metered Stamp Here Street/P.O. Address City, State Zip Code
Potential Subcontractor/Vendor Street/P.O. Address City, State Zip Code
SANDAG Good Faith Effort Guidelines. May 2016
Page 14
FOLLOW UP DOCUMENTATION
The bidder/proposer must document all efforts to follow up the initial solicitations made by
contacting subcontractors/subconsultants/vendors to whom it sent letters. The follow-up
documentation to be submitted includes copies of letters, telephone logs, fax confirmations,
emails, etc.
If subcontractor/subconsultants/ vendors have not responded to letter/faxes/emails, telephone
calls should be made after the letters have been sent and before the deadline. It is important
that the bidder/proposer develops a telephone log that includes the following information:
Project name
Name of person placing call
Name of company called
Contact person’s name
Date of call
Time of call
Results of conversation
Follow up contact must be made at least once with all subcontractors/subconsultants/vendors
with whom proposer/bidder left messages.
Criteria that will be considered
Were the calls made during the lunch hour or too late in the work day?
Did proposer/bidder make a second follow up call with all firms with whom messages
were left?
Review of the result of the conversation. If a subcontractor/subconsultant/vendor had
offered to provide a quote but does not, follow-up is required.
Did proposer/bidder attempt other forms of contact as follow-up to the initial
contact?
SANDAG Good Faith Efforts Guidelines. May 2016
Page 15
SAMPLE TELEPHONE LOG
__________________________
(INSERT BIDDER/PROPOSER COMPANY NAME)
Telephone Log
Project Title:
Name of Person Placing the Calls:
Work Area:
Date
Time
Company Name
Phone #
Contact Person
Please Select One
Result(s) of Conversation DBE Other
ATTACH ADDITIONAL SHEETS AS NECESSARY
SANDAG Good Faith Efforts Guidelines. May 2016
Page 16
No. 5 – LIST OF REJECTED DBE FIRMS
Bidder/proposer must provide a list of all DBE firms that were rejected and include the following
information:
Project name
DBE firm name
DBE firm address
DBE firm phone number
Total price/quote
Reason for rejection
Firm(s) selected for the work area that the rejected firm was solicited for
Price difference for each DBE firm if the selected firm(s) is not a DBE
Please attach copies of the quotes from firms involved. A sample and blank version of a form
entitled “Rejected DBE Firms List” is included in these Guidelines.
SANDAG Good Faith Efforts Guidelines. May 2016
Page 17
SAMPLE REJECTED DBE LIST
Project Name: Hwy 100 Landscaping
Work Area #1: Demolition
DBE Firm Name Sent
Letter
Y/N
Selected
Y/N
Address Phone # Price/ Quote Reason for Rejection
ABC Contractors Y Y 100 N. Lemon Street
My City, CA 92114
858-xxx-xxxx $18,000.00
XYZ Demo Co. Y N 123 Main Street
My City, CA 92101
619-xxx-xxxx $15,000.00 Incomplete bid. Only contained
½ of items required
Blue Company Y N 987 Oak Avenue
My City, CA 92110
619-xxx-xxxx $27,000.00 Bid too high. $9,000 more than
selected proposer/bidder
Work Area #2: Landscaping
DBE Firm Name Sent
Letter
Y/N
Selected
Y/N
Address Phone # Price/ Quote Reason for Rejection
Green Landscaping Y Y 1 Main Street
My City, CA 92110
619-xxx-xxxx $44,100.00
Landscape, Inc. Y N 555 Forest Lane
My City, CA 92115
858-xxx-xxxx $42,800.00 Lowest bid, but did not include
backflow preventer
Ed's Sprinkler &
Landscape
Y N 172 Front Street
My City, CA 92122
858-xxx-xxxx $66,118.00 Bid too high. $22,000 more than
selected proposer/bidder
SANDAG Good Faith Effort Guidelines. May 2016
Page 18
BLANK REJECTED DBE LIST
Project Name:
Work Area #1:
DBE Firm Name Sent
Letter
Y/N
Selected
Y/N
Address Phone # Price/ Quote Reason for Rejection
Work Area #2:
DBE Firm Name Sent
Letter
Y/N
Selected
Y/N
Address Phone # Price/ Quote Reason for Rejection
SANDAG Good Faith Effort Guidelines. May 2016
Page 19
No. 6 – LIST OF EFFORTS: Bonds, lines of credit, and other ass istance
List any efforts to assist DBE firms with obtaining bonds, lines of credit, or insurance
List any efforts to assist DBE firms with other technical assistance or information related to scope of
work, plans, specifications, and requirements for the work that was provided to DBEs
Include in the advertisement and the written notice to DBE firms information about the
proposer’s/bidder’s assistance with items listed above
See Sample Advertisement and Sample Written Notice
No. 7 – LIST OF EFFORTS: Equipment, supplies , materials
List any efforts to assist DBE firms with obtaining necessary equipment, supplies, materials, or related
assistance or services
Include in the advertisement and the written notice to DBE firms information about the
proposer’s/bidder’s assistance
No. 8 – ORGANIZATION OUTREACH
Letters must be sent to outreach agencies, not less than ten calendar days prior to the bid/proposal
due date, requesting assistance in recruiting DBE subcontractors/subconsultants/vendors. A sample
organization outreach letter is included in these Guidelines.
Letters should be sent to all the listed organizations and must contain
Specified work areas
SANDAG project name
Bid due date/time
The proposer’s/bidder’s name
Contact person’s name
Contact person’s address
Contact person’s telephone number, fax number, email address
To meet GFE requirements, bidder/proposer must
Include language stating a recruitment of DBE subcontractors/subconsultants/vendors
Include the specified work areas
Send letters within adequate time
Submit copies of the letters sent, or one master notification
If emailed: copies of the sent and received emails with date and time sent or received
If faxed: copies of the fax transmittal confirmation sheet(s). No credit for error
messages, busy, cancelled, etc.
If mailed: copies of the metered envelopes or certified mail receipts
Submit copies of responses received (i.e. email, lists, internet page download, etc.)
SANDAG Good Faith Effort Guidelines. May 2016
Page 20
OUTREACH ORGANIZATIONS OF SAN DIEGO COUNTY
Asian Business Association
5675 Ruffin Road, Suite 305
San Diego, CA 92123
Phone: (858) 277-2822
Fax: (858) 277-2622
Email: [email protected]
www.abasd.org
Black Contractors Association of
San Diego
6125 Imperial Avenue
San Diego, CA 92114
Phone: (619) 263-9791
Fax: (619) 263-6865
Email: [email protected]
www.bcasd.org
San Diego County Hispanic Chamber of
Commerce
821 Kuhn Drive Stuite 107
Chula Vista, CA 91914
Phone: (858) 268-0790
Email: [email protected]
www.sdchcc.com
National Association of Women in
Construction (NAWIC)
Lorelee Langworthy, President
P.O. Box 880725
San Diego, CA 92168
Phone: (858) 712-4756
Email: [email protected]
www.nawicsd.org
San Diego Contracting Opportunities
Center
4007 Camino del Rio South, Suite 210
San Diego, CA 92108-4189
Phone: (619) 285-7020
Fax: (619) 285-7030
Email: [email protected]
www.ptac-sandiego.org
Associated Subcontractors Alliance
P.O. Box 600723
San Diego, CA 92160
Phone: (619) 825-9552
Fax: (619) 825-9558
Email: [email protected]
www.sandiegoasa.org
Small Business Development Center - North
San Diego
1823 Mission Avenue
Oceanside, CA 92054
Phone: (760) 795-8740
Email: [email protected]
SANDAG Good Faith Effort Guidelines. May 2016
Page 21
Bolder Corporation 1234 Granite Avenue, Suite 800 San Diego, CA 92121
CURRENT DATE
San Diego Contracting Opportunities Center 4007 Camino del Rio South Suite 210
San Diego, CA 92108 Re: Requesting assistance in obtaining qualified and certified DBE subcontractor/subconsultants/vendors Dear Ms. Smith: Bolder Corporation is a construction firm bidding on the project listed below: Project: (Insert Project Title) Bid Due Date: (Insert Bid Date)
We are seeking your assistance in recruiting qualified and certified DBE
subcontractors/subconsultants/vendors, and material and/or equipment suppliers in the areas of work
included in, but not limited to, those listed below:
(List specified work areas here)
Please forward any information you may have to (619) 123-4567. Please contact Jane Doe for any
information or questions.
Sincerely, Jane Doe Project Manager
SAMPLE ORGANIZATION LETTER
SANDAG Good Faith Effort Guidelines. May 2016
Page 22
No. 9 – GOOD FAITH NEGOTIATING
All quotes received must be submitted with the GFE documentation:
Include all bids/proposals for areas of work that were not indicated in the outreach.
Include all quotes from both certified and non-certified subcontractors/subconsultants/ vendors
(DBEs, Small Businesses, others).
Subcontractor bid dollar amounts MUST match bid-listed dollar amounts on GFE forms.
All dollar amounts and scopes of work on the subcontractor/subconsultant/vendor bid must not
be altered by the prime proposer/bidder. If a revision is necessary, a revised quote from the
subcontractor/subconsultant/vendor must be obtained.
All verbal quotes received MUST be substantiated by a corresponding hard quote from the
subcontractor/subconsultant/vendor and submitted with the GFE documentation to be
considered.
All bid-listed subcontractors/subconsultants/vendors must be represented in the GFE documentation.
If they were not sent a letter, please detail in the comments section of the summary sheet how
these subcontractors/subconsultants/vendors came to submit a bid.
To document GFE, proposer/bidder must:
Submit all quotes received as well as any revised and follow-up hard quotes where necessary.
Submit a List of Rejected Firms that includes a breakdown of the
subcontractors/subconsultants/vendors who responded and their corresponding work areas,
listing the quoted amounts, the selected subcontractor/subconsultant/vendor, and the reasons
for the selection and non-selection.
Some considerations :
For IFB and other solicitations evaluated based solely on a cost factor or where cost is considered by
SANDAG in its evaluation process, should you decide to self-perform a specified work area,
proposer/bidder must show that its price is competitive to that of the
subcontractors/subconsultants/vendors who responded to the outreach. This is not applicable for
qualification-based solicitations where cost is not a factor.
Proposer/bidder is NOT required to select any subcontractor/subconsultant/vendor based solely on
their certification status. Your decision to select a subcontractor/subconsultant/vendor should be
based on the subcontractor’s/subconsultant’s/vendor’s bid/proposal amount and/or qualifications.
SANDAG Good Faith Effort Guidelines. May 2016
Page 23
VI. CONTACT SANDAG WITH ANY QUESTIONS
If you have any questions about achieving DBE contract or task order goals on a SANDAG solicitation or
questions about GFE, please contact:
Elaine Richardson
Manager, Small Business Development
SANDAG
401 B Street, Suite 800
San Diego, CA 92101-4231
(619) 699-6956
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